Research Governance Framework for Cardiff University
Final 1.1 June 2015
Research Integrity & Governance Code of Practice
Contents
1. Statement of Principle 3
1.1 Introduction 3
1.2 The Objectives of Research 3
1.3 Collegiality 3
2. Principles in Research 4
2.1 Excellence 4
2.2 Honesty and Integrity 4
2.3 Openness 4
2.4 Accountability and Responsibility 4
2.5 Rigour 5
2.6 Care and Respect 5
3. Commitments for Research 5
3.1 Leadership and Supervision 5
3.2 Research Data and Records 6
3.4 Publications and Authorship 8
3.5 Training 10
3.6 Equality and Diversity 11
3.7 Ethical Requirements 11
3.7.1 Research Involving Human Participants, Human Material or Human Data 11
3.7.2 Research Involving Human Participants: Basic Principles 12
3.7.3 Research Involving Animals 13
3.8 Clinical Research 14
3.8.1 Research Governance Framework for Health and Social Care (RGF) 14
3.8.2 Medicines for Human Use (Clinical Trials) Regulations 2004 (SI 2004/1031) 14
3.8.3 The Human Tissue (HT) Act 2004 14
4. Intellectual Property 15
4.1 Definition and Importance 15
4.2 Ownership 15
4.3 Protection 16
5. Conflicts of Interest 16
6. Concluding Statement 17
Annex 1: Source Material and Related Policies and Guidelines 18
Annex 2: Research Integrity Responsibilities at Cardiff University 20
10
Final 1.1 June 2015
Foreword
To be among the very best in the world is the most challenging goal we can set ourselves. We have done so because it is only through working to achieve the very highest international standards in research, teaching and other activities that we can realise the full potential of the academic community that is Cardiff University. Our vision reflects our service to society and we pursue our vision in the belief that all those with an interest in the University should expect no lesser ambition.
Our Mission is to pursue research, learning and teaching of international distinction and impact.
Features of our vision are a striving for excellence, integrity and innovation in every aspect of activity; a strongly collaborative approach; open and effective communications and an inclusive culture based on dignity, courtesy and respect.
The staff and students of Cardiff University are expected to adhere to the standards of the ‘Research Integrity & Governance Code of Practice (Code of Practice).
Cardiff University’s guiding principles for its actions include: outstanding academic and professional performance; respect for people and diversity; academic freedom; financial resilience; integrity; and environmental and social sustainability. The University is committed to and supports the Universities UK ‘Concordat to Support Research Integrity’ as well as the Research Councils UK ‘Policy and Code of Conduct on the Governance of Good Research Conduct’.
The University continually strives for the highest quality research conducted with the highest levels of research integrity. We have policies, procedures and training resources to allow staff and students to achieve this. This Code of Practice aims to promote and to summarise these and to set out expected Research Integrity standards. Please read this RI Code of Practice and visit the websites it references and help Cardiff University to continue to be associated with the highest standards of Research Integrity and academic achievement.
Professor Hywel Thomas
Pro-Vice-Chancellor for Research, Innovation and Enterprise
1. Statement of Principle
1.1 Introduction
This document applies to all subject areas and to all members of staff and students involved in research at the University, including its staff and students conducting research outside the University but as part of their University role, as well as any persons not employed by the University but with permission to carry out research at the University (all referred to hereafter as Researchers). It is the responsibility of Researchers to be fully aware of and to be trained in current good practice and statutory requirements relevant to their research area. It is the responsibility of all Researchers to make themselves familiar with and abide by this Code of Practice. This Code of Practice has been designed to promote good conduct in research in all stages of a research project, assist Researchers to meet legal and ethical requirements and help prevent misconduct, in order to assist Researchers to conduct research of the highest quality. Any breach of this Code of Practice may be grounds for disciplinary action.
All Researchers have a responsibility and a duty of accountability to society, to their profession, to the University and to the funders of the research, to accept full responsibility for the professionalism and integrity of all aspects of the conduct and publication of their research, and for the activities of any staff or students under their direction. This extends to reporting conflicts of interest, actual or potential, or suspected misconduct, in the appropriate manner. Researchers must also accept responsibility for taking steps to ensure the safety of those associated with the research, the probity of the financial management of the research project, and for seeking to provide optimum value for the public or private funds invested in the project. All legal and ethical requirements laid down by the University or any other properly authorised bodies must be adhered to.
1.2 The Objectives of Research
The primary objective of research is the deepening and broadening of knowledge and understanding by expert, responsible and professional means, including the dissemination of results through publication, teaching, applied research and consultancy.
Research should also seek to meet the following additional objectives:
i. The training of new Researchers in appropriate methods and professional standards of research;
ii. The promotion of the interests and benefits of research;
iii. The securing of the exploitation of results for the public good and the benefit of the University and its members of staff and students.
1.3 Collegiality
The University is a diverse, interdisciplinary community of scholars and Researchers who are in many ways dependent upon each other. As an institution and as individuals it is important to support the notion of effective, active collegiality. In developing and carrying out research projects, groups and individuals need to be fully aware, at all stages of the research process, of the possible immediate and long term implications of their proposed actions. Undertaking certain types of research or taking certain courses of action may impact on the trust and respect required to nurture creative academic collegiality within research groups, Schools, Research Institutes, Colleges or the University as a whole. Researchers need to be aware of this dimension to their activity and act in a collegiate manner at all times.
2. Principles in Research
2.1 Excellence
Researchers should strive for excellence when conducting research and aim to produce and disseminate work of the highest quality. This Code of Practice is intended to support this goal.
2.2 Honesty and Integrity
Maintaining professional standards is fundamental to research. A culture of honesty and integrity should be fostered in all areas of research activity.
Researchers must be honest in respect of their own actions and in their responses to the actions of other Researchers. This includes honesty in the presentation of research goals, intentions and findings; in reporting on research methods and procedures; in gathering data; in using and acknowledging the work of others; in conveying valid interpretations and making justifiable claims based on research findings. Researchers must not engage in nor conceal misconduct and have a responsibility to report potential incidences of misconduct in an appropriate manner. The repercussions of failing to behave honestly in any of these, or other, actions can be widespread and may be regarded as a disciplinary offence. The University’s procedures for dealing with allegations of misconduct in academic research can be found at Annex 1.
2.3 Openness
Research methods and results should be open to scrutiny, discussion and debate. Subject to considerations of confidentiality and protection of intellectual property rights, Researchers should be open with other Researchers and the public regarding their work and promote the open exchange of ideas and information. There should be transparent and open communication in declaring conflicts of interest; in the reporting of research data collection methods; in the analysis and interpretation of data; in making research findings widely available, which includes sharing negative results as appropriate; and in presenting work to other researchers and the public.
The University supports the Research Councils UK position on open research outputs and data. Subject to legal, ethical and commercial constraints, all publicly funded research outputs and data should be made openly available in a responsible manner and appropriate format. To comply with the requirements for the Research Excellence Framework, metadata should be deposited in an institutional open access repository once the output has been accepted for publication, with the full text of the final author’s refereed version deposited within 3 months.
2.4 Accountability and Responsibility
The primary responsibility for safeguarding the integrity of any research undertaken lies with the individual Researcher. It is his/her responsibility to ensure that the work meets all professional standards and the principles outlined in this document.
Researchers should recognise that in and through their work they are ultimately accountable to the general public and must act accordingly. All Researchers should be aware of and must comply with the University’s policies and guidelines and the legal and policy requirements that regulate their field of study, especially the basic principles relating to ethics, information, finance and health and safety. Please refer to Annex 1 for links to further information in these areas.
All Researchers must ensure the work undertaken is consistent with any agreements and terms and conditions related to the project. This includes ensuring the programme is carried out as defined in the original proposal, the finance is used solely for the purpose it was intended, reports are accurate and produced on schedule, and that there is adherence to the conditions regarding publication, data management and intellectual property ownership. Any failures in any of these respects or instances of misconduct (refer to section 5) should be reported in line with the requirements of the project and of the University.
Researchers should follow the requirements and guidance of any professional bodies in their field of research. Researchers who are members of a regulated profession should follow the requirements and guidance of their profession.
2.5 Rigour
As a research-led institution the University promotes good research practice, emphasising integrity and rigour. A rigorous approach to research is part of the professional integrity to which all Researchers must adhere.
Researchers should conduct research according to the highest standards of rigour in line with prevailing disciplinary norms and standards. Rigour should be applied when performing research and using appropriate methods; in adhering to agreed protocols when appropriate; in drawing interpretations and conclusions from the research; in the verification of the results before publication; and in communicating the results.
2.6 Care and Respect
Care and respect must be extended to all participants in and subjects of research, including humans, animals, the environment and cultural objects. Researchers should address any concerns relating to the dignity, rights, safety and well being of all involved in research. Those engaged with research must also show care and respect for the stewardship of research and scholarship for future generations.
Due care and attention must also be paid to issues of equality and diversity throughout the research process (for further details of this and the requirements of the Equality Act 2010, see section 3.6).
3. Commitments for Research
3.1 Leadership and Supervision
The Group Leader/Lead Investigator of a research project or, in the case of student researchers, the student’s main supervisor, is responsible for ensuring that all researchers under their supervision/management have been suitably apprised of their responsibilities under this Code of Practice and that they undertake all aspects of research in line with its provisions. This includes ensuring:
i. the dignity, rights, welfare and safety of any research participants;
ii. research is conducted in accordance with guidelines (including best practice and health and safety procedures), and approval obtained from all necessary bodies before research commences (with any proposed amendments to the agreed protocol also being approved);
iii. that a risk assessment of the planned study is undertaken to determine the potential risks to the organisation, the research, the safety and wellbeing of the participants and researchers, and identify the legal and ethical requirements governing the research [refer to Annex 1 for recommended checklist for researchers];
iv. the study complies with all relevant legal and ethical requirements;
v. a thorough awareness of Equality and Diversity requirements and share that knowledge with those under their leadership.
vi. each research team member is qualified and experienced to fulfil their role including ensuring students and Researchers have adequate supervision, support and training and have undertaken appropriate checks, e.g. Disclosure and Barring Service checks and/or Baseline Personnel Security Standard checks;
vii. procedures are in place to collect, store, manage and keep secure high quality data and, subject to legal, ethical and commercial constraints, to make such data available upon completion of the research project. That these procedures are documented in a data management plan where required;
viii. reports on research progress and outcomes are produced on time and to an acceptable standard;
ix. research results are disseminated promptly and fed back as appropriate to participants;
x. findings are open to review through accepted scientific and professional channels and research data is appropriately registered to facilitate access;
xi. arrangements are in place to manage financial and other resources provided for the study, and any intellectual property arising;
xii. he/she accepts the key role of detecting and preventing misconduct by taking responsibility for all aspects of research integrity which relate to a particular publication;
xiii. that provision is made for the continued management of research data if a Researcher in the project team or the student being supervised leaves the University;
xiv. that where collaborations with external organisations are entered into, there is formal agreement regarding data ownership prior to project commencement.
A research Group Leader/Lead Investigator is expected to establish an atmosphere of organisation and co-operation in his/her team, fostering the open exchange of ideas and ensuring that robust management practices exist to safeguard the honesty and integrity of the research conducted. New Researchers (including research students) must be given access to this Code of Practice, and any other appropriate guidelines on best practice.